| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited | Rep | 就機構融資提供意見 | 2014-06-03 | 2022-07-13 |
| Rep | 期貨合約交易 | 2014-06-03 | 2023-10-13 | |
| Rep | 證券交易 | 2014-06-03 | 2023-10-13 | |
| J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | 就機構融資提供意見 | 2012-01-13 | 2012-12-23 |
| Rep | 就證券提供意見 | 2012-01-13 | 2014-03-14 | |
| Rep | 證券交易 | 2012-01-13 | 2014-03-14 | |
| Credit Suisse (Hong Kong) Limited | Rep | 就機構融資提供意見 | 2010-06-17 | 2011-03-01 |
| Rep | 就證券提供意見 | 2010-06-17 | 2011-03-01 | |
| Rep | 證券交易 | 2010-06-17 | 2011-03-01 |